Compliance Analyst (Temp)

2 Months ago • 1-3 Years

Job Summary

Job Description

The Trade Surveillance Analyst (temp) will conduct account activity reviews, including trading, deposit and withdrawal, and public domain activity, to determine if the activity aligns with IBKR policy. They will also advise management by collecting, analyzing, and summarizing data and trends, prepare regulatory filings, contribute to streamlining current processes and identifying areas for improvement, and review trading data for suspicious activity or patterns of unusual trading. This role requires strong analytical and problem-solving skills, as well as excellent collaboration and communication abilities.
Must have:
  • Strong product knowledge of equity or derivatives markets.
  • High degree of comfort with computers and technology.
  • Excellent oral and written communication skills.
  • Detail-oriented with outstanding organizational skills.
  • Ability to work independently and in a team.
Good to have:
  • ACAMS, CFE, CFCS, Series 7, or other FINRA licenses or certifications a plus.
Perks:
  • Daily company lunch allowance provided.
  • Fully stocked kitchen with healthy options.
  • Corporate events, including team outings, dinners, volunteer activities and company sports teams.
  • Modern offices with multi-monitor setups.

Job Details

Company Overview

Interactive Brokers Group, Inc. (Nasdaq: IBKR) is a global financial services company headquartered in Greenwich, CT, USA, with offices in over 15 countries. We have been at the forefront of financial innovation for over four decades, known for our cutting-edge technology and client commitment.

IBKR affiliates provide global electronic brokerage services around the clock on stocks, options, futures, currencies, bonds, and funds to clients in over 200 countries and territories. We serve individual investors and institutions, including financial advisors, hedge funds and introducing brokers. Our advanced technology, competitive pricing, and global market help our clients to make the most of their investments.

Barron's has recognized Interactive Brokers as the #1 online broker for six consecutive years. Join our dynamic, multi-national team and be a part of a company that simplifies and enhances financial opportunities using state-of-the-art technology.

About INTERACTIVE BROKERS!
This is a hybrid role (three days in the office/two days remote).

Interactive Brokers Group has been consistently at the forefront of trading innovation, starting with the invention of the first floor-based handheld computer in 1983. We pride ourselves on being primarily a technology company and challenging the status quo. We push boundaries to offer our clients the best trading platform with the most sophisticated features at the lowest cost. Software development is the lifeblood of our firm, and it shows in our stellar brokerage platform. Interactive Brokers is regularly recognized as a leader in the financial services industry.

Interactive Brokers is looking to hire two Trade Surveillance Analysts (temps) for a six-month assignment in its Chicago, Illinois, office. This entry-level position has excellent growth potential for highly motivated and exceptional performers. Analysts will report to a Compliance Manager and help ensure the firm complies with the Bank Secrecy Act, USA PATRIOT Act, anti-terrorist financing, sanctions, industry anti-money laundering, and securities laws and regulations.

Day-to-day responsibilities include:

  • Conducting account activity reviews, including trading, deposit and withdrawal, and public domain activity, to determine if the activity aligns with IBKR policy.
  • Advising management by collecting, analyzing, and summarizing data and trends. 
  • Preparing regulatory filings.
  • Contribute to streamlining current processes and identifying areas for improvement.
  • Review trading data for suspicious activity or patterns of unusual trading.

The ideal candidate will have 1-3 years of regulatory compliance experience working for an exchange, a regulatory organization, a broker-dealer (BD), a futures commission merchant (FCM) or a similar organization. Alternatively, experience in internal audit, legal, accounting, or other control functions of a financial services firm or regulator would be beneficial. Absent direct industry experience, we will also consider applicants with excellent bachelor ’s-level educational credentials, some background in finance, economics, data analytics, or similar areas, and strong analytical and quantitative skills.

Qualifications, Skills & Attributes:

  • Strong product knowledge of equity or exchange-traded derivative markets’ or, preferably, both
  • High degree of comfort and fluency with computers and technology and understanding of how technology is applied to business and regulatory problems
  • Excellent oral and written communication skills
  • Detail-oriented with outstanding organizational and project management skills
  • Ability to work both independently as well as in a small-team environment and to multi-task with minimal supervision
  • ACAMS, CFE, CFCS, Series 7, or other FINRA licenses or certifications a plus

 To be successful in this position, you will have the following:

  • Self-motivated and able to handle tasks with minimal supervision.
  • Superb analytical and problem-solving skills.
  • Excellent collaboration and communication (Verbal and written) skills
  • Outstanding organizational and time management skills

Company Benefits & Perks

  • Daily company lunch allowance provided, and a fully stocked kitchen with healthy options for breakfast and snack
  • Corporate events, including team outings, dinners, volunteer activities and company sports teams
  • Modern offices with multi-monitor setups

Similar Jobs

USE Insider - Solution Architect - Germany

USE Insider

Berlin, Berlin, Germany (Hybrid)
9 Months ago
Progress - Partner Account Manager, Senior

Progress

Japan (Remote)
2 Months ago
Dream Games - Executive Assistant

Dream Games

İstanbul, Türkiye (On-Site)
1 Year ago
zeta - Project Manager - Talent Acquisition

zeta

Bengaluru, Karnataka, India (On-Site)
3 Weeks ago
ISG - ERP Higher Ed- Student Administration/Campus Sr. Consultant

ISG

United States (Remote)
2 Months ago

Get notifed when new similar jobs are uploaded

Similar Skill Jobs

Stord - Area Manager

Stord

Delta, British Columbia, Canada (On-Site)
2 Days ago
Freed - Marketing Data and Analytics

Freed

New York, United States (Hybrid)
4 Months ago
Forescout Technologies  Inc  - QA Automation Engineer

Forescout Technologies Inc

Eindhoven, North Brabant, Netherlands (On-Site)
3 Weeks ago
Zinrelo - Data Scientist

Zinrelo

Pune, Maharashtra, India (Hybrid)
8 Months ago
Axon - Senior Director, Manufacturing Engineering

Axon

Phoenix, Arizona, United States (On-Site)
2 Weeks ago
Autodesk - Escalation Lead – Sr. Technical Support Specialist – BIM / Revit

Autodesk

Bengaluru, Karnataka, India (On-Site)
1 Month ago
Universal Music Group - Manager, National Promotion

Universal Music Group

Nashville, Tennessee, United States (On-Site)
5 Days ago
d3t - Compliance Analyst

d3t

Daresbury, England, United Kingdom (Hybrid)
4 Months ago
Mcdonalds - Software Engineer III Java

Mcdonalds

Mexico City, Mexico (Hybrid)
1 Month ago
Eqvilent - Operations Manager

Eqvilent

(Remote)
2 Months ago

Get notifed when new similar jobs are uploaded

Jobs in Chicago, Illinois, United States

Varonis  - Manager of Customer Success

Varonis

United States (On-Site)
3 Months ago
Google - Software Engineer III, Full Stack, Google Ads

Google

Mountain View, California, United States (On-Site)
8 Months ago
Demandbase - Software Engineer II (Front-End)

Demandbase

San Francisco, California, United States (Remote)
2 Months ago
Glean - Enterprise Account Executive

Glean

Dallas, Texas, United States (Remote)
1 Month ago
Aspire - Associate SEO Manager

Aspire

United States (Hybrid)
1 Month ago
HCL Tech - Technical Support Specialist

HCL Tech

Illinois, United States (On-Site)
2 Weeks ago
Backbone - Product Design Engineer

Backbone

Atherton, California, United States (Hybrid)
1 Year ago
Kokotree - Character and Background Designers

Kokotree

Wilmington, North Carolina, United States (On-Site)
8 Months ago
Zones - Field Services Technician

Zones

Portland, Oregon, United States (On-Site)
3 Weeks ago
GameChanger - Senior Product Manager, Video Platform

GameChanger

United States (Remote)
3 Months ago

Get notifed when new similar jobs are uploaded

Similar Category Jobs

Looks like we're out of matches

Set up an alert and we'll send you similar jobs the moment they appear!

About The Company

Interactive Brokers Group, Inc. (NASDAQ: "IBKR") is a direct access electronic broker catering to the needs of professional and frequent traders, institutional investors, financial advisers, and introducing brokers. For over 40 years, Interactive Brokers has been the pioneer of the electronic trading revolution. We rapidly scaled from a small U.S. options market-maker into a sizable global trading firm by leveraging the power of technology and automation. We are committed to delivering value through technological innovation and providing our clients with unprecedented access to global markets at the lowest cost.

Dublin, County Dublin, Ireland (On-Site)

Mumbai, Maharashtra, India (Hybrid)

Chicago, Illinois, United States (Hybrid)

Tokyo, Japan (On-Site)

United States (On-Site)

Fort Lauderdale, Florida, United States (Hybrid)

Greenwich, Connecticut, United States (Hybrid)

Chicago, Illinois, United States (Hybrid)

Dublin, County Dublin, Ireland (On-Site)

Mumbai, Maharashtra, India (Hybrid)

View All Jobs

Get notified when new jobs are added by Interactive Brokers

Level Up Your Career in Game Development!

Transform Your Passion into Profession with Our Comprehensive Courses for Aspiring Game Developers.

Job Common Plug